WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting Corporate Documentation

Supporting documentation required for Corporate Accounts

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Corporate and Unincorporated Organization Resolution

Required for Corporate and Unincorporated Organization accounts to identify those officers or individuals authorized by the resolution to transact business on the account.

Certification Regarding Beneficial Owner and Controlling Person Form

This form must be completed by the person opening a new account on behalf of a legal entity such as Corporation, Limited liability company, General partnership, Limited partnerships, Business trusts, or any other entity created by the filing of a public document with a Secretary of State or similar office, or an entity formed under the laws of a foreign jurisdiction.  Used to gather information of who owns, controls and profits from the legal entities.

Note:  Legal entity does not include sole proprietorships or unincorporated associations.

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement 

Accompanies any and all new business established through WIS

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner 

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Letters of Testamentary

Copy sufficient to open account

Fidelity Charges and Fees 

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Affidavit of Domicile

Copy sufficient to open account.  Notary required on document.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

HSA Checkwriting Instrutions & Terms and Conditions

Establish checkwriting on your clients HAS account  to make contributions and distributions from the account. 

Premier Select Health Savings Application

Premiere Select Health Savings Application signed and dated by the account owner and a principal from WIS

Premier Select Health Savings Customer Agreement

This Health Savings Account Customer Agreement (“HAS Customer Agreement”) contains the terms and conditions that govern your Clients Premiere Select® Health Savings Account (“HSA”).   It describes the features and policies associated with the account.  Client should review this document and keep it with their records. 

Premier Select Health Savings Disclosure Custodial Agreement

The Account Owner whose name appears on the accompanying Application as is establishing a health savings account (“HSA”)(Under Section 223(a) of the Internal Revenue Code) exclusively for the purpose of paying or reimbursing Qualified Medical Expenses of the Account Owner, his or her spouse, and dependents, or other such uses as may be allowed under law or regulation.

Western Disclosure

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement. 

Fidelity Charges and Fees 

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

TOD – Transfer on Death (if applicable)

Use this form to establish a Transfer on Death (“TOD”) Individual account registration and to designate a beneficiary(ies) for your Transfer on Death (“TOD”) account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Revised 12/2021

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

WIS Client Agreement

Accompanies any and all new business established through WIS

Premiere Select IRA Application

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Premiere Select IRA Contribution Guidelines

Fidelity guidelines to determine contributions

Premiere Select IRA Custodial Agreement

The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

Premiere Select IRA Customer Account Agreement

This is the agreement for your IRA account. Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

IRA Asset Movement Authorization (if client agrees)

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

* Not eligible for DocuSign

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Alternative Investment Addendum and Custody Agreement

Sent to clients who have alternative investment in their retirement account.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

***

If number one and an IRA account is already open, please skip 1 & 2

1. Premiere Select IRA Application

1.  Establish an IRA account using this Premiere Select IRA Application

2. WIS Client Agreement

2.  Include a WIS Client Agreement

3. Death Certificate

3.  Include a copy of the original IRA owner’s death certificate

4. IRA Transfer Request for Spouse Beneficiary

4.  Complete and submit this IRA Transfer Request for Spousal Beneficiary

* Not eligible for DocuSign

5. IRA Distribution Form

5.  If the Beneficiary wants to distribute funds to himself he would complete this IRA distribution form

* Not eligible for DocuSign

6. Premiere Select IRA Contribution Guidelines

6. Fidelity guidelines to determine contributions

7. Premiere Select IRA Custodial Agreement

7. The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

8. Premiere Select IRA Customer Account Agreement

8. This is the agreement for your IRA account.  Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

9. Objecting Beneficial Owner

9. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

10. Fidelity Charges and Fees

10. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

11. Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

11.  Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

1. Premiere Select IRA Application

1.  Establish an IRA account using this IRA Application – Select Traditional DBA Based on this selection Fidelity  moves the assets themselves to the newly established account.

2. WIS Client Agreement

2.  Include a WIS Client Agreement

3. Death Certificate

3.  Include a copy of the original IRA owner’s death certificate

4. IRA Distribution Form 

4.  If the Beneficiary wants to distribute funds at any time, they would complete this IRA Distribution form

* Not eligible for DocuSign

5. Premiere Select IRA Contribution Guidelines 

5. Fidelity guidelines to determine contributions

6. Premiere Select IRA Custodial Agreement

6. The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

7. Premiere Select IRA Customer Account Agreement

7. This is the agreement for your IRA account. Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

8. Objecting Beneficial Owner

8. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

9. Fidelity Charges and Fees

9. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

10. Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

10. Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

1.Premiere Select IRA Application

1.  Establish an IRA account using this IRA Application – Select Traditional DBA Based on this selection Fidelity  moves the assets themselves to the newly established account.

2. WIS Client Agreement

2.  Include a WIS Client Agreement

3. Death Certificate

3.  Include a copy of the original IRA owner’s death certificate

4. IRA Distribution Form

4.  If the Beneficiary wants to distribute funds at any time, they would complete this IRA Distribution form

* Not eligible for DocuSign

5. Premiere Select IRA Contribution Guidelines 

5. Fidelity guidelines to determine contributions

6. Premiere Select IRA Custodial Agreement

6. The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

7. Premiere Select IRA Customer Account Agreement

7. This is the agreement for your IRA account. Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

8. Objecting Beneficial Owner

8. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

9. Fidelity Charges and Fees

9. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

10. Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

10. Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

WIS Client Agreement

Accompanies any and all new business established through WIS

Premiere Select IRA Application

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Premiere Select IRA Contribution Guidelines 

Fidelity guidelines to determine contributions

Premiere Select IRA Custodial Agreement

The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

Premiere Select IRA Customer Account Agreement

This is the agreement for your IRA account. Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

IRA Asset Movement Authorization (if client agrees)

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

* Not eligible for DocuSign

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Alternative Investment Addendum and Custody Agreement

Sent to clients who have alternative investment in their retirement account.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

WIS Client Agreement

Accompanies any and all new business established through WIS

Premiere Select IRA ROTH Account Agreement

This is the agreement for your ROTH & ROTH BDA accounts. Account agreement includes Retirement Plan Agreement, ROTH IRA Custodial Agreement, ROTH IRA Disclosure & the Important Information Affecting the Premier Select IRA and ROTH.

Premiere Select IRA ROTH Application

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

IRA ROTH Contribution Guide

Fidelity guidelines to determine contributions

Premiere Select ROTH IRA Custodial Agreement

The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account

ROTH Conversion with instructions

Use this form to request a conversion of all or any part of your Premiere Select Traditional, Rollover, SEP, or SIMPLE IRA (“IRA”) to a Premiere Select Roth IRA with WIS

*Not eligible for DocuSign.

IRA Asset Movement Authorization (if client agrees)

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

* Not eligible for DocuSign

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

Alternative Investment Addendum and Custody Agreement

Sent to clients who have alternative investment in their retirement account.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

WIS Client Agreement

Accompanies any and all new business established through WIS

Premiere Select IRA Application

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Premiere Select IRA Contribution Guidelines 

Fidelity guidelines to determine contributions

Premiere Select IRA Custodial Agreement

The Depositor whose name appears on the accompanying Application is establishing a traditional individual retirement account (under Section 408(a) of the Internal Revenue Code) to provide for his or her retirement and for the support of his or her beneficiaries after death.

Premiere Select IRA Customer Account Agreement

This is the agreement for your IRA account. Account agreement includes Retirement Plan Agreement, IRA Custodial Agreement, IRA Disclosure & the Important Information Affecting, the Premier Select IRA.  Provide to client to keep for their records.

IRS 5305 SEP form

IRS Simplified Employee Pension Individual Retirement Accounts Contribution Agreement

Alternative Investment Addendum and Custody Agreement.

Sent to clients who have alternative investment in their retirement account

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

IRA Asset Movement Authorization (if client agrees)

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

* Not eligible for DocuSign

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

SIMPLE Page Index

Index as to the required pages of the SIMPLE documents

SIMPLE Employer & Employee Guide

Includes the following forms:  Company Profile, Adoption Agreement, Employee Summary Plan Description, SIMPLE IRA Application, Plan Agreement, Custodial Agreement, Customer Agreement, Salary Reduction Agreement

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

ACAT Form

Use this form to authorize the transfer of assets currently at another firm to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

TOD – Transfer on Death (if applicable)

Use this form to establish a Transfer on Death (“TOD”) Joint Tenant With Rights of Survivorship account registration and to designate a beneficiary(ies) for your Transfer on Death (“TOD”) account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Revised 12/2021

Joint Account Agreement

Required to open a Joint account.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Limited Liability Company Agreement

Required for Limited Liability Company to identify those officers or individuals authorized by the resolution to transact business on the account.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Certification Regarding Beneficial Owner and Controlling Person Form

This form must be completed by the person opening a new account on behalf of a legal entity such as Corporation, Limited liability company, General partnership, Limited partnerships, Business trusts, or any other entity created by the filing of a public document with a Secretary of State or similar office, or an entity formed under the laws of a foreign jurisdiction. Used to gather information of who owns, controls and profits from the legal entities.

Note:  Legal entity does not include sole proprietorships or unincorporated associations.

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting Partnership Documentation

Supporting documentation required for Partnership Accounts.  Include pages naming partners and officers.  Must be a signed and dated document.

Separate W-9

Required for Taxpayers Identification Number and Certification

Partnership Agreement

Required for Partnership to identify those officers or individuals authorized by the resolution to transact business on the account.

Certification Regarding Beneficial Owner

This form must be completed by the person opening a new account on behalf of a legal entity such as Corporation, Limited liability company, General partnership, Limited partnerships, Business trusts, or any other entity created by the filing of a public document with a Secretary of State or similar office, or an entity formed under the laws of a foreign jurisdiction. Used to gather information of who owns, controls and profits from the legal entities.

Note: Legal entity does not include sole proprietorships or unincorporated associations.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution.
WIS approves Level 1 only.

*Not eligible for DocuSign. DocuSign Eligible if accompanied by new account documents.

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Individual K Plan Set Up instructions & Checklist

Overview of necessary documents and who keeps what copy

Individual K Plan Adoption & Application.

Individual K Agreement Instructions (Rev 12/20), Adoption Agreement (Rev 04/21), Trust Agreement (03/21),  individual Application (Rev 12/20)  and Disclosures (Rev 12/20)

Required

Individual 401K Basis Plan Documents & IRS Plan Opinions

Client should keep a copy for their records

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system.

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Plan Documents

Plan Documents for all Non-Prototype IRA are required

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Plan Documents

Plan Documents for all Non-Prototype Retirement Plan (NP) are required

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Certificate of Trustee Authority – To be used with ERISA Accounts

To Open and Administer Securities Accounts(s)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

*** One WIS Agreement is needed for each participant including the employer

Premier Select Retirement Plan PSP & MPP instructions & Checklist

Overview of necessary documents and who keeps what copy

Premier Select Retirement Plan PSP & MPP Plan Adoption Agreement, Application & Disclosures 

Includes the PSP Adoption Agreement (Rev 04/21), MPP Adoption Agreement (Rev 04/21) Trust Agreement (Rev 03/21), Supplemental Fee Schedule (Rev 04/21) & Acknowledgment (05/12), individual Application (Rev 12/20) and Disclosures (Rev 12/20)

Premier Select Retirement Plan PSP & MPP Summary Plan Description

If plan has participants other than the employer/participant, the employer must provide a copy of the Summary Plan Description to each participant and beneficiary within 90 days after they become eligible to participate in the Plan.   This document stays with the employer

Premier Select Retirement Plan PSP & MPP Basic Plan Document & IRS Opinions

Document that describes the rules, terms, conditions, and provisions of the Plan.  Employer should keep a copy.

Copies of favorable determination letters received from the IRS, which provide an opinion that the Premiere Select Retirement Plan meets the requirements of a qualified plan under the Internal Revenue Code

Premiere Select Retirement Plan Beneficiary Designation

Use this form to add or change the beneficiaries (“beneficiary”) for your Premiere Select Retirement Plan account. Do NOT use for Premiere Select IRAs and nonretirement accounts.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Fidelity as Custodian PSP & MPP Retirement Plans One-time Distribution Form

Used to request a distribution from your Premiere Select Retirement Plan Account (“PSRP Participant Account”) or Premiere Select Retirement Plan Beneficiary Distribution Account (“PSRP-BDA,” together with PSRP Participant Account, “PSRP Account”). If you wish to request a distribution from more than one PSRP Account, you must complete a separate form for each PSRP Account.

* Not eligible for DocuSign

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Trustee Certification of Investment Powers

Use this form to establish (or, add or change at a later date) Trustee information on a Trust account

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting Trust Documentation

Supporting documentation required for Trust Accounts

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Agreement (if applicable)

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Revised 12/2021

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Separate W-9

Required for Taxpayers Identification Number and Certification

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Western Disclosures – Supplement to Fidelity Brokerage Account Agreement

Acts as a supplement to the Fidelity Brokerage Account Agreement.  Use in lieu of the Western Client Agreement – only if using documents from the Wealthscape New Accounts opening system. 

Annual Maintenance Fee Payment

Use this form to establish, change, or revoke instructions for paying the annual maintenance fee for your Premiere Select Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA, referred to as “IRA” or “account,” held through Fidelity. Use one form per IRA account.

Dodd Frank Disclosure

The Reg E Dodd Frank Disclosure is needed for all international wires, in either USD or foreign currency.

Fidelity as Custodian PSP & MPP Retirement Plans Distribution Form

For use with Fidelity PSP & MPP Retirement Plans for One Time Distribution

*Eligible for Docusign if using standing payment instructions

Form Help: Premiere Select IRA Distribution Consolidated

This form can be used to request a one -time distribution or a periodic distribution for firms that have 3rd party options for an account. A separate form must be completed for each account. The information below provides best practices when submitting the form. This does not cover every required field. It is important to review all information on the form carefully.

*Not eligible for DocuSign

Form Help: Premiere Select Standing Payment Instructions

The information in this job aid provides best practices when submitting the form. This does not cover every required field. It is important to review all information on the form carefully.

IRA Charitable Distribution Form

Use this form to request a one-time, tax-reportable Charitable Distribution (“CD”) from your Premiere Select Traditional, Roth, Rollover, inactive SEP, inactive SIMPLE, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA held through Fidelity.

*Not eligible for DocuSign

IRA Distribution Consolidated

Encompasses One Time & Periodic Instructions.  One form per request.

*Eligible for Docusign if using standing payment instructions

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

*Not eligible for DocuSign

Premiere Select IRA Recharacterization Request

Use this form to recharacterize: • Annual contributions you made to a Traditional IRA as annual Roth IRA contributions; • Annual contributions you made to a Roth IRA as annual Traditional IRA contributions; • Conversion contributions you made to a Roth IRA back to the original Traditional IRA, SEP-IRA, or SIMPLE IRA (“deconverting”); or • Qualified rollover contributions you made to a Roth IRA or Roth IRA Beneficiary Distribution Account (Roth IRA BDA) from a workplace savings plan to a Traditional IRA or Traditional IRA Beneficiary Distribution Account (IRA BDA). Do NOT use this form for a conversion or reconversion.

*Not eligible for DocuSign

Premiere Select Roth IRA Conversion

Use this form to request a conversion of all or any part of your Premiere Select  traditional, Rollover, SEP, or SIMPLE IRA (“IRA”) to a Premiere Select Roth IRA with the same Broker/Dealer. The receiving Roth IRA must already be established or this form needs to accompany a new account application.

*Not eligible for DocuSign

Retirement-Asset Movement Authorization & WIS Addendum

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution. WIS approves Level 1 only.

Retirement-Standing Payment Instructions (required for set-up of payment instructions)

Use this form to establish, change, or delete standing Bank Wire, Electronic Funds Transfer (“EFT”), Journal and/or Check Disbursement instructions on your Premiere Select Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (“BDA”), Roth IRA BDA, Premiere Select Retirement Plan account, or Retirement Plan BDA, held through Fidelity Clearing & Custody Solutions (Fidelity). Do NOT use this form for nonretirement accounts.

Addendum to the Standing Instructions form

Allows ADVISOR to specify the dollar amount distributed to client at the time of distribution.

Cashiering Definition of First & Third Party

Standing instructions first and third party

*Not eligible for DocuSign

Dodd Frank Disclosure

The Reg E Dodd Frank Disclosure is needed for all international wires, in either USD or foreign currency.

Non-Retirement One Time Withdrawal

Use this form to request a one-time transaction via Check Disbursement, Electronic Funds Transfer (“EFT”) or Bank Wire.

*Eligible for Docusign if using standing payment instructions

Non-Retirement Periodic Earnings Withdrawal

Use this form to establish, change, or delete an earnings withdrawal plan for your nonretirement account held through Fidelity Clearing & Custody Solutions (Fidelity). Use one form for each account.

Non-Retirement Periodic Specific Dollar Withdrawal

Use this form to establish, change or delete a periodic withdrawal plan on your nonretirement account held through Fidelity Clearing & Custody Solutions (Fidelity). Use one form for each account.

Non-Retirement Standing Payment Instructions (required for set-up of payment instructions)

Use this form to establish, change, or delete standing Bank Wire, Electronic Funds Transfer (“EFT”), Journal and/or Check Disbursement instructions on your brokerage account. Do NOT use this form for Premiere Select® Retirement Accounts.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

*Not eligible for DocuSign

Outgoing Foreign Currency Wire

Use this form to send foreign currency that is currently in your account with Fidelity Clearing & Custody Solutions (Fidelity) to a bank account that you designate below. If you do not hold the currency, you must perform the currency exchange prior to submitting this form.

*Not eligible for DocuSign

Outgoing International Bank Wire

Use this form (for non-internationally enabled accounts) to convert U.S. dollars (USD) to a certain currency and bank wire out from your account held with Fidelity Clearing & Custody Solutions (Fidelity) to a foreign financial institution.

*Not eligible for DocuSign

Periodic Investments

Allows account holder to set up scheduled incoming EFTs their retail or retirement accounts.  Can also be used for systematic purchases of mutual funds.

Premiere Select IRA Recharacterization Request

Use this form to recharacterize: • Annual contributions you made to a Traditional IRA as annual Roth IRA contributions; • Annual contributions you made to a Roth IRA as annual Traditional IRA contributions; • Conversion contributions you made to a Roth IRA back to the original Traditional IRA, SEP-IRA, or SIMPLE IRA (“deconverting”); or • Qualified rollover contributions you made to a Roth IRA or Roth IRA Beneficiary Distribution Account (Roth IRA BDA) from a workplace savings plan to a Traditional IRA or Traditional IRA Beneficiary Distribution Account (IRA BDA). Do NOT use this form for a conversion or reconversion.

*Not eligible for DocuSign

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Durable Power of Attorney Affidavit and Indemnification

Certifies the validity and effectiveness of a Durable Power of Attorney (“POA”) on the clients account.  Only needs to be signed by the POA agent.  NOTE:  Document states notary but signature guarantee is acceptable.

IRA Annual Maintenance Fee Payment Instructions

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account.

Premiere Select IRA/HSA Beneficiary Successor Designation

Beneficiary Designation – Form to designate beneficiary on the retirement account (Revised 5/20)

Premiere Select Fiduciary IRA Certificate

Required when adding a guardian or conservator to an existing IRA account. ** In addition to the form, the pertinent court documents must also be included to process the request.

Premiere Select IRA Checkwriting Application

Use this form to establish checkwriting on your Premiere Select Traditional IRA, Rollover IRA, Roth IRA or SEP-IRA (collectively “IRA”).

* Not eligible for DocuSign

Premiere Select Retirement Plan Beneficiary Designation (PLAN ACCOUNTS ONLY)

Use this form to add or change the beneficiaries (“beneficiary”) for your Premiere Select Retirement Plan account. Do NOT use for Premiere Select IRAs and nonretirement accounts.

Premiere Select Roth IRA Conversion

Use this form to request a conversion of all or any part of your Premiere Select  traditional, Rollover, SEP, or SIMPLE IRA (“IRA”) to a Premiere Select Roth IRA with the same Broker/Dealer. The receiving Roth IRA must already be established or this form needs to accompany a new account application.

*Not eligible for DocuSign

990T Supporting Information Form

Use this form to provide additional information that can be used for the purpose of completing your Form 990-T filing.

990T Supporting Information Form

Use this form to provide Fidelity with additional information that should be used for the purpose of completing the Form 990-T filing on behalf of the account.

ACAT Form

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Alternative Investment Checklist

This checklist outlines the steps and documentation required to purchase an alternative investment after the asset in question has been operationally accepted for custody.

Alternative Investment Information

Go to NFS-What you Need to Know – What You Need to Do for more information on how “To purchase an Alternative Investment to HOLD in an IRA account or a Retail account at NFS, the client needs”; or “To purchase an Alternative Investment using funds in Retail Account and hold at the AI direct – not at NFS.”

Alternative Investment Transaction Letter (LOI)

Required to Purchase, Sell or Redeem an Alternative Investment in a Fidelity Retail and Retirement Brokerage account.   Do not use for capital call requirements.

Alternative Investments Addendum and Custody Agreement

This form is required to in order for Fidelity to hold any Alternative Investment in a client’s retail or retirement account.

Brokerage Account Customer Agreement

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Checkwriting and/or Debit Card Delegation Form

To add an additional signer to one’s check-writing.  Only to be used for Individual and Joint accounts. This does not remove a signer.

* Not eligible for DocuSign

Durable Power of Attorney Affidavit and Indemnification

Certifies the validity and effectiveness of a Durable Power of Attorney (“POA”) on the clients account.  Only needs to be signed by the POA agent.  NOTE:  Document states notary but signature guarantee is acceptable.

Fidelity Charges and Fees

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements. (Revised 5/21)

Fidelity Check-Writing Premier Access

Use this form for your Premier Access Account to: • Upgrade or downgrade a new or existing account to Brokerage Portfolio or Brokerage Access. • Upgrade an existing account from Brokerage Access to Brokerage Portfolio or downgrade from Brokerage Portfolio to Brokerage Access. • Add or remove checkwriting and/or debit card features within your existing Brokerage Portfolio or Brokerage Access account. (Revised 4/2021)

* Not eligible for DocuSign

Fidelity Cost Basis Update Template 

Required for requests to update cost basis with customer provided information. Requests should be submitted only when too large to easily enter in Wealthscape. Spreadsheet Includes: Sample, Column Definitions, & Instructions.

Fidelity Check-Writing Select Access

Use this form for your Select Access Account to: • Upgrade or downgrade Select Access Account  • Add or remove checkwriting and/or debit card features Select Access account. (Revised 4/2021)

* Not eligible for DocuSign

Fidelity Mutual Fund Class Conversion Guide

This is the step-by-step process for an advisor to submit a Mutual Fund conversion request form through the Wealthscape platform.

HouseholdingAgreement

Account holders who share the same exact mailing address, but do not meet the criteria for automatic householding, may use this form to create a new Household Relationship, add to an existing Household Relationship, or to modify an existing Household Relationship.

Letter of Authorization and Release for Physical Certificate

This form must be completed if the registration on the certificate being deposited into a Fidelity account does not match the account registration of the brokerage account.

Margin Agreement

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Revised 12/2021

Multiple Margin Request

Use this form to request that a multiple margin relationship (“Relationship”) be established for an existing Brokerage Account with margin privileges that is held with Fidelity Clearing & Custody Solutions (Fidelity), to add a Brokerage Account to an existing Relationship, or to request approval to de-link a Brokerage Account from an existing Relationship.

Objecting Beneficial Owner

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

*Not eligible for DocuSign

Option Account Agreement

Use this form to add options privileges to an existing brokerage account.

Transfer of Assets – Additional Assets Schedule

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Trusted Contact Authorization

Add, Update or Change the Trusted Contact listed on the account

W-8BEN-E

Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities). Internal Revenue (IRS) form only to be utilized by entities

W-8BEN and W8 Written Statement for Certification of Foreign Tax ID Letter of Explanation

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)

W8 Written Statement for Certification of Foreign Tax ID and DOB and Letter of Explanation

To be used with Existing W8 for recertification.   Inclusion of TIN and DOB or act as Letter of Explanation as to why a Foreign TIN is missing

WIS Investment Management Agreement

Investment Management Agreement –Transaction Base Pricing with Schedules

WIS Limited Trading Authorization

Use this form to grant trading to a Third-Party Agent (“Agent for your brokerage account (“account”)) held through WIS.

WIS Online Access Request and Household Account Linking Agreement

Use to request online access and to authorize WIS to link brokerage account(s).

WIS PO Box Authorization

Authorizes WIS to send all correspondence, including, but not limited to statements, confirmations, notices, checks and securities to a PO Box.